Notes to the Reader

1. Any material contained within brackets ( ) is not part of the text of the law but is inserted as an aid to the reader.

2. Citations have been included to enable the reader to locate the same material in the United States Code (U.S.C.). These citations are not a part of the text of the law in which they appear. For changes after the closing date of this publication December 31, 2002) to provisions of law in this

publication that have citations to the U.S. Code, see the United States Code Classification Tables published by the Office of the Law Revision Counsel of the House of Representatives at http://uscode.house.gov/uscct.htm.

REVISED THROUGH DECEMBER 31, 2002

(III)

& hser G /

CONTENTS

Page

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59

315

371

409

519

549

587

607

615

663

665

669

709

725

733

746

747

Securities Act of 1933

Securities Exchange Act of 1934

Public Utility Holding Company Act of 1935

Trust Indenture Act of 1939

Investment Company Act of 1940

Investment Advisers Act of 1940

Securities Investor Protection Act of 1970

Gramm-Leach-Bliley Act

Commodity Futures Modernization Act of 2000

Sarbanes-Oxley Act of 2002

Temporary Reporting Provisions:

Market Reform Act of 1990, Section 8

Penny Stock Reform Act of 1990 (Title V of the Securities Enforcement

Remedies and Penny Stock Reform Act of 1990), Sections 504(b) and

510 ......

Appendix:

Title 5, United States Code, Sections 551-557, 704–706

Commodity Exchange Act, Sections la, 2, 4m and 12 (7 U.S.C. la, 2,

2a, 6m, and 16)

Title 11, United States Code, Sections 523(a), 1109(a), 1125, 1129(d),

1145

Revised Statutes of the United States, Sections 5136 and 5136A (12

U.S.C. 24 and 24A)

Act of September 28, 1962 (12 U.S.C. 92a(a)-(b))

Act of October 28, 1974, Section 111 (12 U.S.C. 250)

Federal Reserve Act, Sections 23A and 23B (12 U.S.C. 371c and

371c-1) .....

Export-Import Bank Act of 1945, Section 18(c)(3) (12 U.S.C. 635i-6)

Agricultural Marketing Act, Section 15(a) (12 U.S.C. 1141j(a))

Federal Home Loan Mortgage Corporation Act, Section 306 (a), (g) (12

U.S.C. 1455 (a), (g))

National Housing Act, Sections 302(c)(1), 304(0)-e), 311 (12 U.S.C.

1717(c)(1), 1719(d)-e), 1723c) ..........

Housing and Community Development Act of 1992, Section 1542 (12

U.S.C. 1831m-1)

Bank Holding Company Act of 1956, Sections 4(c) and (k), and 5(c)

and (g) (12 U.S.C. 1843 and 1844)

Farm Credit Act of 1971, Section 8.12 (12 U.S.C. 2279aa-12)

Right to Financial Privacy Act of 1978 (12 U.S.C. 3401nt-3422)

Federal Deposit Insurance Corporation Improvement Act of 1991,

Sections 401-407 (12 U.S.C. 4401–4407)

Reorganization Plan Number 10 of 1950 (15 U.S.C. 78d note)

Omnibus Small Business Capital Formation Act of 1980, Sections 502,

503, 504, 506 (15 U.S.C. 80c-80c-3)

Liability Risk Retention Act of 1986, Sections 2(a)(4), 5 (15 U.S.C. 3901,

3904)

Federal Water Power Act, Section 204(h)

Title 18, United States Code, Sections 152, 471-473, 474A, 494, 495,

510, 513, 514, 1001, 1341-1343, 1348–1350, 1512, 1513, 1514A, 1519,

1520, 3571-3574, 6001-6004

Higher Education Act of 1965, Section 439(1) (20 U.S.C. 1087–2(1))

International Finance Corporation Act, Section 13 (22 U.S.C. 282k)

Inter-American Development Bank Act, Section 11 (22 U.S.C. 283h)

Asian Development Bank Act, Section 11 (22 U.S.C. 285h)

Bretton Woods Agreements Act, Section 15 (22 U.S.C. 286k-1)

Act of June 29, 1949, Section 3 (22 U.S.C. 286k-2)

African Development Bank Act, Section 1341 (22 U.S.C. 290i–9)

748

757

758

759

760

763

765

782

785

806

811

813

815

817

818

837

839

840

841

842

843

844

Page

845

847

883

Appendix-Continued

European Bank for Reconstruction and Development Act, as contained

in the Foreign Operations, Export Financing, and Related Programs

Appropriations Act, 1991 (22 U.S.C. 2901 note, 2901, 2901-7)

Internal Revenue Code of 1986, Sections 103, 401, 403, 404, 414, 501,

521, 851

Title 28, United States Code, Section 1658

Employee Retirement Income Security Act, Sections 3(21), 101(i), 501

(29 U.S.C. 1002(21), 1021(i), 1131) .....

Subchapter II of Chapter 53 of Title 31, United States Code

Alaska Native Claims Settlement Act, Section 28 (43 U.S.C. 1625)

Regional Rail Reorganization Act of 1973, Section 210(g) (45 U.S.C.

720(g))

Communications Act of 1934, Section 3 (h), (t) (47 U.S.C. 153 (h) (t))

Title 49, United States Code, Section 11367

Regulatory Definition of "Separately Identifiable Department or Division

of a Bank," Rule G-1 ...

884

888

924

926

927

928

929

SECURITIES ACT OF 1933